A recent, denied investor complaint against San Francisco financial advisor Stephen Farmer (CRD# 6583874) alleged that he omitted material facts...
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Eric Kleiner: FINRA Bars Ex-Morgan Stanley Advisor
Former New York City financial advisor Eric Kleiner (CRD# 4135180) was recently sanctioned and barred in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Morgan Stanley and that he has received multiple investor complaints.
Matthew Koelliker: KKR, Ex-M360 Advisor Faces $15mm Complaint
San Francisco, California financial advisor Matthew Koelliker (CRD# 5660722) has received multiple investor complaints alleging that his conduct resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker with KKR Capital Advisors and that he was previously the president of M360 Advisors.
Stephen Hlibok: Merrill Lynch Advisor Faces $337K Complaint
Columbia, Maryland financial advisor Stephen Hlibok (CRD# 1728900) allegedly made unauthorized trades, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Merrill Lynch.
JC Britt: Morgan Stanley Advisor Lands Options Complaint
A recent investor complaint against Vero Beach, Florida financial advisor JC Britt (CRD# 4523267) alleges that his advice resulted in losses. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Morgan Stanley.
George Jing: FINRA Bars Fired TransAmerica Advisor
Former Rockville, Maryland financial advisor George Jing (CRD# 2835725) was recently sanctioned and barred in connection with alleged private securities transactions. Financial Industry Regulatory Authority record show that he was most recently registered as a broker with TransAmerica Financial Advisors.
Bryan Lubitz: $100K-$500K Against Ex-Aegis Advisor
A recent investor complaint against Melville, New York financial advisor Bryan Lubitz (CRD# 4381244) alleges that his investment advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Equitable Advisors, having previously been registered with Aegis Capital.
Eric Bell: Tangible Wealth Advisor Lands $542K Complaint
Greenwood Village, Colorado financial advisor Eric Bell (CRD# 7015161) recently received an investor complaint alleging that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Emerson Equity, doing business as Tangible Wealth Solutions.
Earl Newsome: Ex-NEXT Advisor Faces $198K Complaint
Spring, Texas financial advisor Earl Newsome (CRD# 2436856) recently received an investor complaint alleging that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with LPL Financial, having previously been registered with NEXT Financial Group.
Frank DiMartini: Altitude Capital Advisor Faces Reg D Complaint
A recent complaint against Newport Beach, California financial advisor Frank DiMartini (CRD# 4512897) alleges that he made misrepresentations regarding investment opportunities. Financial Industry Regulatory Authority records show that he is registered as a broker with Altitude Capital Group, having previously been registered with Alexander Capital.
Ryan Finch: $542K Complaint Against Tangible Wealth Advisor
A recent investor complaint against Greenwood, Colorado financial advisor Ryan Finch (CRD# 6379871) alleges that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Emerson Equity, doing business as Tangible Wealth Solutions.
